Middle Office Services Supervisor
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Wells Fargo Advisors (WFA): WFA operates the nation's third-largest Brokerage business with 15,134 Financial Advisors and 3,883 licensed bankers in retail stores across the U.S. WFA administers $1.4 trillion in client assets. Unprecedented choice and flexibility for Financial Advisors and their clients is provided through distinct business channels supported by established products, services and technology.
The Middle Office Services Group (MOSG) is responsible for supporting several channels within WFA. MOSG supports the Private Client Group (PCG), Wealth Brokerage Services (WBS), Wells Fargo Financial Network (FiNet), WellsTrade (WT) and Wells Fargo Advisors Solutions (WFAS).
The WFA Regional Supervisor 1 will be responsible for:
- Supporting the channels with ongoing monitoring of conformity with internal policies, applicable laws and regulations
- Assist with facilitating money movement in a fast paced environment by processing service requests
- Assist internal and external clients by providing excellent customer service
- Provide support to management and assist in helping meet department service level agreements
- Oversight of risk/fraud management and takes on special projects as assigned by the manager
- Client account approvals including:
- Various asset movement approvals
- Wire Funds review and approval
- Partial ACATs
- PO Box account update approvals
- Letter of Authorizations approvals
- ACH/Banklink approvals
- In addition to placing outbound calls to clients to confirm transactions
- Middle Office Services Group operations are from 8:00am to 6:00 pm CST in St. Louis, MO. This role will need to be available for any shift during these hours.
- 1+ year of financial services industry experience
- 6+ months of experience in branch office compliance, sales supervision, or a combination of both
- Successfully completed FINRA Series 7 exam to qualify for immediate registration (or FINRA recognized equivalents)
- Bilingual speaking, reading, and writing proficiency in Spanish/English
- Excellent verbal, written, and interpersonal communication skills
- Basic Microsoft Office (Word, Excel, Outlook, and PowerPoint) skills
- Ability to navigate multiple computer systems, applications, and utilize search tools to find information
- Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment
- Ability to identify and assess issues then make sound decisions
- Knowledge and understanding of risk management
- Strong attention to detail and accuracy skills
- Ability to work effectively in a team environment
- Ability to quickly learn business operations and processes
- 3+ years of brokerage industry experience
- Knowledge and understanding of trade, new account, correspondence, and activity review
- Knowledge and understanding of multi-channel platform
- Ability to travel 10% of the time
- Obtaining and/or maintaining appropriate Financial Industry Regulatory Authority (FINRA) license(s) is required for ongoing employment in this position. In addition state registration, specific product licenses or SAFE licensing may apply. Additional requirements include meeting enhanced financial fitness and criminal background standards. Wells Fargo will initiate the FINRA review process at the time of offer acceptance.
- Registration for FINRA Series 9/10 must be completed within 90 days of hire date if it is not available for transfer upon hire. FINRA recognized equivalents will be accepted.
All offers for employment with Wells Fargo are contingent upon the candidate having successfully completed a criminal background check. Wells Fargo will consider qualified candidates with criminal histories in a manner consistent with the requirements of applicable local, state and Federal law, including Section 19 of the Federal Deposit Insurance Act.
Relevant military experience is considered for veterans and transitioning service men and women.
Wells Fargo is an Affirmative Action and Equal Opportunity Employer, Minority/Female/Disabled/Veteran/Gender Identity/Sexual Orientation.
0153949 WEALTH INV MGMT/WIM PSI
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Lauren audits Wells Fargo’s financial reports to assess accuracy and risk. She reviews processes in place, analyzes management controls, and communicates calculations and findings with business partners.
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